OA Tool : 11 : Participatory Organisational Analysis Process

INTRODUCTION
A. What is POAP?
The POAP is a method for starting a continuous process of Self-directed
Organisational Development in an NGO with the assistance of a facilitator.
B. Who should use POAP?
Leaders and organisations that want to improve themselves and are looking for a
way to initiate or strengthen their process of self-development should consider using
the POAP.
C. When is POAP done?
The POAP should be done when the leader(ship) has a bit of breathing space and
can take the time to reflect a on the strengths and weaknesses of the existing
organisation or prior to making strategic plans or when some major changes have
impacted the organisation. It is also done any time the Leader(ship) wants to make
significant improvements in organisation functioning and the effectiveness of its
people.
D. How is the POAP done?
The POAP is done with the participation of everyone in a small organisation and with
the participation of a large representative sample in a large organisation. It is NOT
evaluation as we know it. Rather, it is Self-directed Organisational Development
with the assistance of a Facilitator. The objective of the whole process is for the
leader(ship) and members of the organisation to identify and focus on:
1. The areas where the organisation is especially strong, and
2. The areas where the organisation would benefit most
improvement efforts.

from

Having identified these areas, the organisation can take Action Steps to:
1. Reinforce those strengths and
2. Work on the improvement areas.

II.

STEPS IN THE POAP PROCESS

A. LEADER(SHIP) CONSIDERS POAP POSITIVE

DECISION LEADS TO NEXT STEP
With the assistance of a Facilitator, the leader(ship) learns about the POAP, what is
needed from the leader(ship) to make it successful, and what is needed in the way
of time and resources from the organisation to begin it So that a decision on
whether to proceed can be made.
B. ORIENTATION OF ORGANISATION TO POAP
Before the POAP meeting can be held, members of the organisation need to be
informed about the POAP and ground rules for participation in it. If this is the first
time such a process has been used in the organisation, a separate orientation
meeting may be held to describe the process to the participants and to give them an
opportunity to ask questions for clarification.

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C. THE POAP MEETING

1. The strengths and areas for improvement of the organisation that are seen by
each individual are identified, voiced and summarised using method provided by
the Facilitator.
2. The summary is prioritised and
3. Action steps that will lead to organisational development are identified and
committed to.

III.

GROUND RULES FOR PARTICIPATION IN POAP

For this process to be successful the following ground rules for behaviour of
EVERYONE are needed:
1. Be honest in sharing your thoughts and feelings
2. Listen carefully to the views of others, especially when they are DIFFERENT than
your own. Dont punish others for seeing things differently than you do.
3. Give everyone an opportunity to share their views
4. Look for common ground; things you can agree on.

IV.

ROLE OF THE LEADER(SHIP)

The leader(ship) has a special role in making this process successful. At each stage
of the process the specific things that the leader(ship) needs to pay special attention
to are as follows:
A.
1.
2.
3.

At entry and contracting

Consider the POAP for understanding and relevance.
Be sure all concerns are expressed and discussed
Decide whether to begin the process of continuous organisational improvement
with attendant awkwardness, uncertainties and learning potentials.

B.
1.
2.
3.

At Orientation
Help organisation members understand POAP
Tell the organisation why you personally want to do POAP.
Acknowledge that some statements of needs for improvement may be seen as
critical of the leadership and that is OK.
4. Make clear that you are committed to generating and dealing with this
information in a constructive manner.
C.
1.
2.
3.

During the individual and group work

Be a regular group participant.
Set an example of abiding by the ground rules.
Go last rather than first with your ideas.

D.
1.
2.
a)
b)
c)
d)

When it is time to decide on action steps for the priority items

Deals with every priority item.
May use all these options.
Direct/immediate action
Further consideration to be given by.
Further detailed study/diagnosis to better understand the item.
No action for now.But keep it on the agenda for later consideration.

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E. For follow up
1. Get data on what has happened as a result of the action step decisions.
2. Have a review meeting with the organisation after an appropriate time interval
allowing for action to have taken place.

V.

ROLE OF THE FACILITATOR

The roles of the facilitator in each of the steps enumerated in are elaborated below:
A.
1.
2.
3.

Phase 1. GETTING PREPAREDThe Facilitator must:

Learn the whole POAP;
Be prepared to explain it to NGDO leaders;
To help them decide if they want to undertake this process with their
organisation;
4. To explain their special roles to leaders and to contract to support them (or
remind them) when the process is being done and
5. To conduct this process with those leaders who decide to do it.
C. Phase II ENTRY AND CONTRACTING WITH LEADER(SHIP)
The Facilitator must:
Identify NGOs that he/she is most likely to be able to assist in the process(E.g. has
good working relationship and is client for your organisations services/resources).
Arrange meeting with the leader(ship) of potential NGDO to explain the process and
test whether the leader(ship) wants to contract with you to conduct this process;
In the meeting with the NGDO leader(ship);
a) Build a trustful working relationship
b) Ensure that the leader is as clear as possible about what s/he is getting into by
engaging in this process;
(i)
Opening up the topic of organisation functioning and health for input from all
organisation members.
(ii)
Expanding the process of member participation in decisions affecting the
organisation.
(iii)
Enabling both reinforcement of the organisations strengths and focused work
on its areas of improvement.
(iv)
Opening leader(ship) up to criticisms that they may surprise them and they
probably wont enjoy hearing.
c) Explain the whole process as carefully as possible including the Purpose, Analysis
Guide, Plan of the meeting and Expected Outcomes.
d) Test whether the leader(ship) understands and is interested in contracting with
you to undertake this process.
e) If the answer is no, dont press the issue; but be open to being recalled if
conditions should change;
f) If the answer is may be, find out what additional information or steps are needed
to resolve the uncertainty;
g) If the answer is yes, develop a plan of next steps with the leader(ship) on how to
prepare for and conduct a POAP meeting including:
(i)
When it will be
(ii)
Who will be participating
(iii)
What information they will receive before coming to the meeting
(iv)
Logistics including site materials, etc.

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C. PHASE III PARTICIPATIVE ORGANISATION ANALYSIS MEETINGConduct the

POAP Meeting in collaboration with the Leader(s).
D. PHASE IV.FOLLOW UP
At a minimum, the Facilitator should assist the leader(ship) in ensuring that the
action steps from the meeting are followed up on and that the priority items from the
analysis are clearly documented and shared with the whole organisation. In addition,
where the organisation has identified areas that the Facilitator can be either a direct
resource for learning and action or a broker to find resources that can assist in
specific improvement areas, s/he should do so.

VI.

ANNEXES

The Annex I below consists of positive statements about 10 categories of

organisational functioning that taken together describe a very effective NGDO.
(annex I).
Annex II provides a possible format for a one-day POAP meeting
Annex III provides a format for a two-day POAP meeting

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Annex I

DEVELOPMENT NGOs : ANALYSIS FOR SELF-DIRECTED

DEVELOPMENT
Instruction:
The following ten categories describe the characteristics of an effective organisation.
Think about the Strengths of your organisation and areas that need improvement.
Consider each of the categories in turn and note what you see as the Strengths and
needed areas of improvement in the spaces provided.

1. ORGANISATIONAL IDENTITY
a) The legal form and organisational policies (e.g. governance, personnel, finance)
make the organisation socially accountable and acceptable.
b) The organisation's strategy, based on a clear vision and mission, makes effective
use of the organisation's scarce resources and is understood by all staff.
c) The core programmes of the organisation fittest strategy, its strengths and
weaknesses as well as its external opportunities and threats.

2. PROGRAMME PLANNING AND IMPLEMENTATION

a) Core programme tasks are clearly understood and accepted by the staff.
b) Regular monitoring and evaluation of results provides feedback used for
performance improvement and organisational learning.
c) Staff are held accountable to clear performance standards.
d) Staff and staff teams work together well.
e) Unexpected problems are recognised and taken care of effectively.

3. PROGRAMME BENEFITS AND IMPACTS

a) The programme beneficiaries/clients say that the programme is relevant and
beneficial
b) The programme has planned measurable objectives that are being achieved.
c) The programme can be sustained without assistance.
d) The programme has increased people's participation in their own development
(especially women).

4. HUMAN RESOURCES
a) Staff skills and numbers are adequate to do the work.
b) Recruitment, reward, benefits and promotion systems are in place. They
encourage good performance, turnover and high staff morale.
c) Staff have relevant development opportunities
d) The organisation encourages women's participation at all levels.

5. PHYSICAL AND INFORMATION RESOURCES

a) Information (technical, social, political) necessary for programme implementation
is available to the staff
b) Physical space, equipment and facilities are adequate.

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6. LEADERSHIP
a) The leaders create an environment and set a good example for staff in
accordance with the vision and mission and strategy of the organisation.
b) The leaders involve staff in participatory planning and decision making to the
right extent.
c) External constituents respect and have confidence in organisational leadership.
d) A process for developing new leadership is in place and is showing good results.

7. ORGANISATION AND MANAGEMENT

a) Vertical and horizontal communications meet the needs of all staff for the
information they need to perform their work.
b) Delegation of authority enables responsible participation by all staff.
c) Effective long term planning and co-ordination systems are in place and are
working.
d) The organisation's structures and systems are appropriate to its programmes and
size; neither too rigid and bureaucratic nor too loose and disorganised.

8. LEARNING
a) The organisation fosters individual and team problem-solving.
b) The organisation learns from its experience, problems and mistakes.
c) The organisation translates learning into innovative action.

9. FINANCIAL RESOURCES
a) External and internal sources of funds are available for planned activities and
have continuity.
b) Effective financial management and accounting systems are in place.
c) Financial systems allow for transparency and accountability to appropriate
constituents.
10. EXTERNAL RELATIONS
a) The organisation has a stable and mutually acceptable relationship with donors.
b) The organisation shares information about its activities with others.
c) The organisation is able to handle conflict with other people and organisations.
d) The organisation builds alliances, networks and partnerships with NGOs and
other kinds of organisations.
e) The organisation has resources that are independent of external donors.

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Annex II

AGENDA AND APPROXIMATE TIMING:

Introduction of the
Participant
15 minutes.

Orientation to the
POAP
60 minutes.

Presentation of
the workshop
norms and ground
rules
15 minutes

The participants and the facilitator(s) introduce themselves individually in

the group. Leader(ship) also participates in the process. Major objective
is to break the ice and to create an environment of open and free
discussion. Participants may also narrate their expectations from the
workshop. The facilitators also narrate their expectations.
This part of the programme may be divided into 2-3 sub-activities
according to need of the situation. Sometimes in workshops and
seminars there is a ritualistic/ceremonial part in which background and
rationale of the workshop/seminar is presented. The facilitator then gives
a short description of the POAP process. There may be unclarity and
ambiguity about the process and the participants may like to have
clarifications. All of the matters described above would be covered. If
necessary, one or more special orientation meeting could be held prior to
this one-day POAP to ensure that participants understand the whole
process and are prepared to participate fully. Also, the agenda for the
day would be presented. Leader(ship) at this stage may be given the
opportunity to present their views and commitment for the interventions.
In fact, the whole group needs to feel comfortable and committed to the
process; the facilitators and the leadership need to create such
environment. Major events in this part may be like this:
Workshop programme schedule

POAP events A short Description

Presentation of the rationale and objectives of the workshop by the

leadership.
From the very beginning it is stressed that the exercise is a participatory
one and everyone has democratic rights to be fully involved in the
exercise. None can be restrained and punished for honest participation.
The ground rules and norms are presented by the facilitator(s).

Exercise on the
key features of an
effective
organisation
60 minutes

Participants are divided into 3-4 groups (hierarchical groups) and

participate in the exercise to articulate and write the key features of an
effective NGO. This helps the participants to be sensitised about
organisational issues and features. Later on when they participate in the
exercises to formulate ideas and feelings about their own
organisation(strengths and areas for improvement they will be able to
compare the ideal situation with the actual.

Presentation in the
Plenary
30 minutes

Groups present their findings in the plenary. Different perspectives and

ideas about an effective organisation (NGO) are shared. This turns out to
be a learning session for all. Leader(ship) can be additionally benefited
by seeing the ideas and perspectives of groups below them. The
facilitators may keep in mind the key features of an effective NGO. This
may facilitate the articulation by the participation.

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Individual Data
30 minutes

Each individual working alone would write 5 or 6 items that he or she

sees as the strengths and areas needing improvement in the
organisation.

Meet in groups to
summarise and
prioritise strengths
and improvement
areas
60 minutes

Working in at least two groups (Leader(ship) and others; may be 3-4

depending on the size and hierarchical levels) and using flip chart paper;
one sheet for strengths and one for areas of improvement, summaries of
the perceived strengths and improvement areas are made.

In plenary groups
present their
prioritised lists
45 minutes

Each group posts their strength and area for improvement flip charts
with their priorities on them. The leader(ship) presents last. Questions for
clarification are allowed but no debate.

2nd Day:
Develop the
common list of
Strength and
Areas for
Improvement
60 minutes

The facilitators will confirm the list once again. They may at this stage
help the plenary to prepare two separate high priority lists of strengths
and areas for improvement.

Prioritisation
through voting:

When that has been accomplished, each member in the group is asked to
vote for 3-4 strengths and 3-4 improvement areas as highest priority
(depending on the circumstance). Using markers the three votes are
recorded next to the appropriate items on the flip charts. The items
receiving the most votes will have highest priority when the work of
separate groups is combined in the next step.

Decisions on next
steps
30 minutes

Clear action steps are sought before closing the meeting. On items of
widespread agreement it should be possible to identify clearly the What,
Who and When of steps that would either reinforce the strength or work
on the improvement. In some cases, direct action steps may be clear. In
others, further study, analysis, or learning may be needed. In any event,
the leader(ship) should ensure that all of the top priority items (6 per
group) are dealt with in some clear way.
A simple format may be used for the action plan and participants may be
invited to volunteer to assume responsibility to perform the actions
needed.
What
By who
When
Action Steps

Outcomes

At the end of the meeting, the leader(ship) should have:

a) An overall picture of the strengths and improvement needs of their
organisation as viewed by members.
b) Some clear idea of what organisation improvement steps to take to:

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(i)
(ii)

Reinforce strengths, and

Undertake improvement efforts by further study, learning, or
direct action.

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Annex III
Programme Schedule
Participative Organisational Analysis Process
Day 01
0900 - 0915

Introduction of the participants

0915 - 0930

Workshop Programme Schedule

0930 - 1000

POAP activities - a short description

1000 - 1015

The rational and objectives for undertaking POAP

1015 - 1030

Workshop Norms and Ground Rules

1030 - 1100

Refreshment

1100 - 1230

Key features of an Effective Organisation

1230 - 1300

Individual data collection on Strengths and Improvement

Areas (Use Annex I)

1300 - 1400

Lunch

1400 - 1500

Synthesis of Data in Groups

1500 - 1600

Presentation and Discussion

1600 - 1615

Refreshment and end of Day 1.

Day 2
0900 - 1000

Develop a common list of Strengths and Improvement

Areas (Use Annex I)

1000 - 1030

Prioritise the list through voting

1030 - 1100

Refreshment

1100 - 12.30

Action Planning

1230 - 1300

Presentation and Finalisation of Action Plan

1315

Workshop Closing

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OA Tool 12 : Culture Audit

Purpose
The purpose of the culture audit is to provide the assessor/assessment team with a
list of areas within which data can be gathered respecting organisational motivation.
The assessment team can use it to help in planning data collection. Some of the
questions could be used in animating focus groups with staff members or people on
the Board of Directors.
Instructions
Part 1 Individually answer as many of the questions below as you can.
Part 2 In a group, discuss your answers and whether one can answer all the
questions. Are most people agreed on their answers?
1

What kind of people are involved in this organisation? Who are the real leaders? Who gets
ahead? (These questions provide information on the informal reward and power system, as
well as identifying any heroes.)

What is it like to be part of this organisation? (this question provides a real overview of the
organisations culture)

Why is the organisation successful? (This helps describe what areas are perceived as
important)

Can you clearly define the organisations values or beliefs and norms of acceptable
behaviour?

What is the organisations culture now? How strongly and uniformly does this exist across
the organisation?

Is the organisation a safe environment in which to grow and make mistakes?

Are people considered important to this organisation?

What skills and actions are rewarded?

Does the leadership promote openness, risk-taking and trust?

10

What is the history of the organisation?

11

Does the organisation focus inwardly, rather than to the outside world, that is, does it have
only a short-term focus?

12

How frequent is the turnover of personnel?

13

What are the war stories and anecdotes of this organisation?

14

What are the major events in this organisations past?

15

How do people new to the organisation learn the ropes?

16

What matters have a high priority in this organisation?

What matters have a low priority?
Overall, how would you describe the culture of your organisation?

17

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OA Tool 13 : SWOT Analysis

What is it?
SWOT analysis is a tool for assessing and communicating the current position of an
organisation or a particular reform option in terms of its internal Strengths and
Weaknesses and the external Opportunities and Threats it faces.
It provides a clear basis on which to develop a picture of the changes needed to
build on strengths, minimise weaknesses, take advantage of opportunities and deal
with threats.

External

Internal

How do it use it?

Gather and summarise initial insights from internal interviews and relevant
documents
Supplement as needed with insights from surveys of users and other key
stakeholders
Organise the insights in the format below
Carry out this process with key partners and stakeholders
Note that many strengths can also be weaknesses when viewed from a different
perspective. The same applies to opportunities and threats.
Develop strategies on the basis of analysis.
Strengths
1.

Weaknesses
1.

2.

2.

3.

3.

4.

4.

Opportunities
1.

Threats
1.

2.

2.

3.

3.

4.

4.

ChildHopes Workbook on Strategic Planning provides a detailed toolkit on the

utilisation of SWOT.
Note that SWOT is strengthened by the use of the tool in conjunction with another
(checklist) to provide a structure to the analysis. The Open Systems Model headings
or the 7-S Model headings for example, would be appropriate.

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OA Tool 14 : PESTLE Analysis

Origins: PEST (sometimes called STEP) Analysis
PEST analysis is a means of conducting a scan of an organisations external
environment, with particular reference to the future and any changes that may come
about. The purpose of PEST is to identify factors that may impact on the services,
customers, products, markets, staff, profitability, etc. of the organisation. It is mainly
used in the context of change management and strategic planning, which are of
course inextricably linked. But PEST analysis should not be an activity reserved only
for an annual or periodic special event. NGO Managers should develop the habit of
staying in tune with the environment and considering the impact on their
organisation of everything that happens.

P stands for political factors, including:

E stands for economic factors including:

Change of Government Policy

Political parties
Democratisation
Legislation
Privatisation
Trades Unions
International relations
Civil unrest
Tax policy

Change in GDP
Disposable income of the people
Stock market instability
Currency fluctuations
Economic cycles
Energy and oil costs
Interest rates
Housing costs
Taxation

S stands for social factors, including

Demographic change
Family and lifestyle changes
Education levels
Health
Life expectancy
Changes in values and culture
Social mobility
Attitudes towards life and leisure
Religious attitudes

T stands for technology, including:

Speed of change in technology
Computerisation
Communications
Industrial processes
Materials
Transport
Medical innovation

Recently two more categories have appeared,

environment. So PEST has become PESTLE.

for legislation and

for the

Sometimes people disagree over which heading a potential factor falls under.
However it matters less that you label the change than that you can see it coming.
All these can affect your organisation, your services to your beneficiaries/clients and
community, and the availability of skilled staff to provide the services and products.

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Consider all the PEST(LE) factors facing your organisation. Select the one in each
category that you think demands the highest priority. Finally select the highest
priority from among these (Complete only on box in Column 3)

1. PESTLE

2. One most pressing 3. The single most

factor in each category pressing of all the
factors in column 2

P
E
S
T
L
E

Discuss your results and agree the four highest priorities for your organisation.

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OA Tool 15 : Stakeholder Analysis and Management

This tool is presented in three parts:
Part I : Stakeholder Mapping
Part II : Stakeholder Analysis
Part III : Stakeholder Management

Part I : Stakeholder Mapping

Stakeholders

Stakeholders are individuals or organisations that will be affected in some significant

way by the outcome of the self-assessment process or that are affected by the
performance of the organisation, or both. As shown in Figure 1, most organisations
have a wide range of stakeholders, some more influential than others (either
because they benefit from the organisation, they fund some of its activities, or there
are political reasons). Not all stakeholders have the same stake in the organisation,
and it is important to recognise the level of influence each stakeholder has on your
organisation. This will guide the data-collection process and allow you to identify the
main sources of data.
Figure 1 : Identified Stakeholders
Social Advocates
Beneficiaries
Members
Suppliers
Employees

Funders

Organisation
Clients

Board

Government

Media

Community

Collaborators
and Competitors

Level of Influence:

Strong

Medium

Little

Remember too that some stakeholders may have a negative stake in your
organisation i.e. they do not wish to see it succeed!

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Exercise 1. Mapping the stakeholders

Instructions:
Identify the various groups, in order of importance, with a stake or interest in your
organisation and the outcomes of the self-assessment. Write the names of these
groups on Figure 2. The closer they are to the centre of the map, the greater their
interest in, or influence on, your organisation. When you have finished, complete the
checklist for mapping stakeholders.
Figure 2 : Who are your stakeholders?

Checklist for mapping stakeholders

- Have all stakeholders been identified?
- Have all potential supporters and opponents of the organisation been
identified?
- Have all the other stakeholders that are likely to emerge as a result of the
self-assessment been identified?
- Have stakeholders interests been identified? (Part II)
- Have stakeholders interrelationships been identified? (Part II)
- Have the self-assessment goals been reconciled with stakeholders; needs,
interests and priorities? (Part III)
- Has stakeholder participation in the self-assessment been investigated? (Part
III)

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Part II : Stakeholder Analysis

Purpose
The purpose of this tool is to help you identify stakeholders and their interest in the
organisation. It can be used to analyse organisational relevance and assess the
environment.
Instructions
1. Fill in the names of your stakeholders in the first column of Table 1
2. Identify each stakeholders category. These might be funders, employees,
senior leadership, or the organisations partners. You should customise your
categories to suit your organisations identified stakeholders. You might also
indicate whether a stakeholder:
Is an integral part of the organisation
Is interested in, and committed to, the organisation
Knows the organisation but is not committed to it; or
Has a vested interest in destroying the organisation, that is,
competitors, etc. (negative stake)
3. Indicate each stakeholders interest in the self-assessment results, that is,
whether a stakeholder:
Will use the results for planning
Will use them to support the organisation; or
Will use the assessment to design new programmes, introduce
change, or develop future strategies, etc.
Each stakeholder may have several interests.
4. Identify each stakeholders possible participation or role in the selfassessment, that is, whether the stakeholder can:
Be a data or information provider
Make a decision on the self-assessment findings; or
Become a beneficiary of change arising from the assessment, etc.

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Table 1 : Stakeholder Analysis

Each stakeholder may have several roles in the assessment. These can be listed
using the following table format:
Stakeholder

Category

Interests

Participation
or role

Influence
Strong/
Medium/
Little

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Part III : Stakeholder Management

What is it?
Stakeholder management is a central part of managing change. It involves:
Identifying the individuals or groups who will either be affected by the changes
or have the ability to impact on the change process
Developing a strategy to manage these stakeholders
How is it used?
Identify and gather information on the key stakeholders through interviews,
surveys, change readiness workshops and relevant client documents (such as
organisation charts). Be careful to protect any sensitive information you gather

during the stakeholder analysis.

Analyse the information gathered along four dimensions:

1. Impact of Change: What will the impact of the change be on the
individual? (High, Medium, Low)
2. Reaction to change: How will they react to change? (Opponent, Follower,
Enthusiast)
3. Level of Power and Influence: What is the persons level of power and
influence? (High, Medium, Low)
4. Desired Support: What level of support is desired from the individual?
(Necessary, Desirable, Unnecessary)
Present this information in the format below. Dimensions 1 and 2 are plotted on
the matrix, while symbols are used to illustrate 3 and 4.
In practice, the level of detail you go into will depend on the time and
information available. A simple table that plots groupings of individuals,
organisation (or even countries) with respect to the impact of change and their
likely reaction can be a useful tool for initial analysis.
The stakeholder analysis will enable you to categorise stakeholders, e.g.
champion/sponsor or change agent.
Develop a stakeholder management plan that involves activities such as
leadership, coaching or mentoring for sponsors, project management skills and
training for change agents and facilitation skills for those seeking to achieve
consensus.

Hints on Stakeholder consultations

Develop a shared understanding of the current reality of the organisation its strengths
and weaknesses and link this with a clear understanding of the livelihood opportunities
and obstacles facing the organisations primary clients. This can lead to a clear vision of
where the organisation should go, building on a key element of a learning organisation
focusing on its clients and being responsive to them
Aim for a consensus on change and how to get there, negotiated, agreed and owned at all
levels including outside the organisation with clients and the broader political environment
Excluding key individuals from the shared understanding and the vision for change will
lead to alienation and resistance
In steeply hierarchical organisations those who hold the power to open up space for
innovation must share and own the vision for change, otherwise no change can happen
and junior staff will be dissuaded from innovating
Joint organisation/client monitoring of progress can help staff to understand critical issues
and pressures facing their partners and the ways in which the operations of their
organisation may be contributing to these pressures.

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High
Medium

Stakeholder B

Stakeholder D

Low

Impact of Change

Stakeholder C

Stakeholder A

Opponents

Followers

Enthusiasts

Reaction to change
Key:
Power/Influence

Desired Support

High =

Necessary

Medium =

Desirable

Low =

Unnecessary

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OA Tool 16 : Change Plan Management

Various approaches to change management exist. However, all include the following
elements.
Element

Issue

Change Vision

Why is change necessary? Is there a compelling and inspiring

vision that is driving change (such as improved public services)?
Has this been communicated? Are there external drivers for
change?

Change Strategy

What are the enablers and barriers to change? Are people

willing to change? What should the approach be? Is there a
clear project team leading change? Is there a strategic plan?

Structural Change

Does the organisation have the appropriate numbers of skills of

staff? Are the lines of command, supervision and delegation
appropriate?

Systems Change

What systems and processes must change to improve

performance?

Performance

How is performance measured and how must performance

improve?

Commitment

Is there support for change amongst staff? Is there local

ownership or has change been imposed? What is being done to
build commitment? How well is change communicated?

Capacity and
Leadership

Is there a change sponsor or champion who will lead change? Is

there effective leadership throughout the organisation with the
capacity to manage change? Do staff have the skills needed to
perform in the new organisation? Have change agents been
notified?

Culture

How does the organisational culture support/hinder change? Is

change taking place on the basis of internalised principles? Is
effort needed to change the culture? What is being done to
engage with users and poor people? What resources are being
mobilised to sustain change? How are the values of the
organisation being supported or developed by change?

Long term Support

How will the impact of change be sustained?

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How do I facilitate change?

1. Understand the need for change
2. Develop a clear and compelling argument for change the change vision
3. Carry out visioning workshop with key stakeholders
4. Assess change readiness to minimise the risk of failure. Ideally this should be
done early (preferably when there is still scope to alter the design of the plan) in
order to increase understanding of the potential impact, identify high risk areas
that
will
need
to
be
managed,
understand
stakeholders
concerns/insights/emotional responses to change and key issues for the
communications strategy
5. Identify change sponsor and change agents. (This can be done through
interviews and/or a change readiness workshop)
6. Identify the key enables (those things that work to support change or are critical
to success) and barriers to change (those things that can hinder reform)
7. Select the best framework for managing the change process. Experience
demonstrates the effectiveness of an impartial, senior project manager and a
committed project management unit acting as a catalyst in the reform process
8. Develop a project plan (based on the other activities listed in this table)
9. Change can be achieved through building commitment or generating compliance.
The right mix will depend on the nature of change and you should start by
asking: Is commitment or compliance needed? If we need commitment, how
much is needed and from whom?
10. There are five inter-linked components of building commitment:
i. Stakeholder Management. This involves identifying who the key stakeholders
are and managing them through the change process
ii. Managing Resistance. Resistance needs to be managed continuously and can
be grouped into three categories, each of which will require different activities.
Unwilling (activities will include negotiation, persuasion, introduction of
positive and negative sanctions, redesign of reform); Unable (this will require
training, skills transfer, support and coaching); and Unknowing (activities will
focus on communication and involvement)
iii. Team Building: people often feel alone during major change. Actively
encourage team building to provide a supportive atmosphere for staff
iv. Skills Transfer: identify skills gaps to address through training. This can help
remove some of the fear about being unable to perform new tasks
v. Communications: Honest, timely, frequent, consistent, two-way communication
is essential to building commitment. Develop a communication plan that
focuses on the why as much as on the what. A good communications plan
should consider: the audience, message, media, frequency, goals,
responsibility, feedback mechanisms and measures of communication
effectiveness.

94

11. Develop leadership capacity and commitment. Change champions and agents
may require specific training in team working and change management. Sponsors
may need support and coaching
12. Develop the capacity and skills amongst staff to succeed in the new organisation
13. Mobilise the people and financial resources needed to sustain reform
14. Assess what culture factors (norms, values, beliefs, etc.) are driving behaviour.
Look at culture in relation to time, hierarchy, relationships, space and activity.
How strong are these factors and to what extent do they fit with the direction of
the change programme? Do not let your own cultural orientations influence your
analysis.

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OA Technique 1 : Visioning
I : Introduction
Visioning is a technique used to assist key stakeholders in an organisation to develop
a shared vision of the future. It asks the questions: what kind of organisation do we
want? How will it be structured? What will be its core values and ways of working?
Visioning is a powerful technique, which if used effectively, can result in a shared
commitment to the future and an energised team focused on what needs to be done
to achieve the vision.

II : Facilitating Visioning Workshops

Visioning workshops can be difficult to facilitate. Participants often require more
support and encouragement than in other kinds of workshop.
The key points to keep in mind include:
1. Allow sufficient time
2. Start the workshop in the morning
3. Recognise that some people will be sceptical and will need to be persuaded
4. Recognise that not everyone finds visioning easy some will need coaching.

III : Methodology
The materials needed are large sheets of white paper and coloured flipchart pens.
Stage 1: State the objective
Use the Stage A to Stage B model to explain the objective of the workshop, that is,
to come to a shared and realistic vision of how the organisation can change. Agree
with participants what the end product will be: a picture summarising the vision,
which will also be described in words and written down.
Stage 2: Create working groups
Create mixed stakeholder groups of six or seven participants each. Ensure that the
groups are gender-balanced. If it becomes clear that some stakeholders are not
participating effectively in discussions (e.g. primary stakeholders, women, people
who only speak a minority language) rearrange the groups to try to overcome the
problem. If necessary set up single stakeholder groups and/or provide a higher level
of coaching and support.
Stage 3: Describe State A
Ask each group to describe State A (Where are we now?) using a picture or words,
and to be ready to present the picture findings in a plenary session. Use problem
analysis techniques to help the groups think through the current state and its causes
(OA Technique 3) if necessary. Encourage participants to reflect for a while on their
own before starting group discussions. The facilitators should move among the
groups, encouraging participation, creativity and imagination.

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Stage 4: Present State A

Ask each group to present its State A picture/feedback in a plenary session. The
facilitators should attempt to draw out the similarities and differences between
pictures, and assist the workshop to reach a consensus description of the State A.
Stage 5: Describe State B
Ask participants to continue working in the same groups and to describe State B
(Where do we want to be?), again using a picture or words and to be ready to
present the picture in a plenary session. Encourage participants to imagine they have
the authority and power needed to implement their preferred solutions to the
problems identified in the State A description.
Stage 6: Present State B
As with Stage 4, the facilitators should draw out the similarities and differences
among the pictures/feedback presented. Now the workshop should be assisted to
reach a consensus on State B.
Stage 7: Turn the State B picture into words
If participants have presented pictures, the facilitators should now assist the
workshop in translating the pictures into words. This can be done either in plenary
session or using a small group comprising members from each of the working
groups. Once drafted, the statement of the vision should be agreed in a plenary
session.
Vision statements are usually up to one page in length, though there is no fixed rule
for this.

IV : Notes for Facilitators

Visioning at an organisational level can be complex and more challenging. Often the
most difficult thing for any collection of people to do is to imagine what the future of
their organisation should look like. Here, it will be the facilitators task to assist the
participants through this Visioning.
Where an organisation is seeking in a workshop environment to review what its role
should be, Visioning can be important to the overall success of the workshop
process, by divorcing participants from the problems of the present. Visioning allows
participants to visualise not only the future role and functions of the organisation but
its purpose, its values and its style of operation. Participating in the process can help
commit participants to that vision and can provide a base for obtaining subsequent
commitment in the wider organisation.
Visioning is not a one-time activity, and self-limitations by participants such as I
couldnt possibly suggest that may harm the outcomes. The facilitator must not be
afraid of having repeated attempts, using different Visioning techniques, to create a
common vision, if the initial results are unsatisfactory.
Whether used in creating a development activity, or change within an organisation,
Visioning has one common feature: its participants should operate as equals, with
the facilitator seeking to ensure that all are given an equal voice in the process of
determining the future.

97

OA Technique 2 : Forcefield Analysis

Forcefield Analysis is a technique for analysing the forces that help or obstruct
change. It can be useful as part of drawing up a strategic change plan, for examining
how feasible a strategic object is and what areas need to be focused on in any
associated action plan.
How do I use it?
1. Identify the forces which support the achievement of change (driving forces) and
those which act against the change (restraining forces).
2. Identify ways in which driving forces can be promoted, strengthened or
maximised.
3. Identify ways of reducing, weakening or minimising the restraining forces.

In greater detail:

Write a brief description of your objective. You must state what you want to achieve
and when, very specifically, using the words Toby.. NB Make sure you have

stated only one objective deal with additional ones on a separate sheet.

1. List all of the driving forces you can think of on the left
Be very specific (i.e. what, who, where, when, how much, how many, etc.)
Forces can be inside you as well as outside
Indicate how the force will contribute to meeting the objective
2. List the restraining forces on the right
Again, be specific
List all the factors, both inside and outside yourself which will work against you
Indicate what effect each force is likely to have on your achieving your objective
3. Analyse the forces
Identify which forces are most important (make sure they are real, not
assumed). These are the ones that will have a significant effect on whether or
not you can achieve your objective. Circle all the important forces on your list
Obtain any additional information you may feel is lacking about any important
force
4. Strengthen the driving forces weaken the restraining forces (reducing a
restraining force is generally more effective than increasing a driving force).
Work on each important force in turn
Identify ways in which you can increase, strengthen, or maximise each driving
force
Identify ways in which you can reduce, minimise or eliminate each force
working against you
If you really cannot find a way of reducing a restraining force, write no action
possible against it
It is often useful to get others ideas and suggestions to help here
The secret of the technique is to address the forces most likely to tip the
balance
5. Realistic assessment of feasibility
Do the driving forces now clearly outweigh the restraining forces?
If yes, check Do I really want to achieve this. If the answer is another yes,
then adopt your objective and begin work on the forces
If the answer is no to either question, you can come up with further ideas. If
you cant, you may have to revise your objective.

98

FORCE FIELD ANALYSIS

What is the change you want to make?

List the:

DRIVING FORCES

RESTRAINING FORCES

99

OA technique 3 : Tree Diagramming

Tree diagramming can be conducted in three phases
1. Problem Tree Analysis
2. Objectives Analysis
3. Strategy Analysis

1. Problem tree analysis helps to illustrate the linkages between a set of

complex issues or relationships by fitting them into a hierarchy of related factors. It
is used to:
Link together the various issues or factors which may contribute to an
institutional problem
Help to identify the underlying or root causes of an institutional problem
The major assumption underlying the problem tree is the hierarchical relationship
between cause and effect.
1. Identify the major existing problems/issues based on available information (e.g.
by brainstorming)
2. Select one focal problem for the analysis e.g. poor communications to staff.
3. Develop the problem tree beginning with the substantial and direct causes of the
focal problem, e.g. hierarchical and autocratic management culture.
How do I use it?
The following illustrates the process:

Developing the Problem Tree

Effects

FOCAL PROBLEM

Causes

This process can help to distinguish the underlying or root causes of an

organisational problem from their effects and guide advisers towards the critical
issues that need to be tackled in organisational development.

100

2. Objective tree analysis is a technique that utilises problem tree diagramming

as the starting point for the identification of objectives. The main advantage is the
assistance offered to the management team to help them be more rigorous or logical
in their thinking. The technique both defines project objectives and specifies other
factors linked to them in a cause-and-effect relationship. The technique determines
the objectives which can or must be achieved to respond to a defined need alternative solutions to meet this need are identified where possible.
The objective tree consists of a series of project objectives linked hierarchically in a
tree diagram. The major assumption is the hierarchical relation between objectives.
The assumption that objectives can be divided into sub-objectives is also implicit in
the technique.
To construct an objective tree, begin with a problem tree such as the one
you constructed earlier, then follow the procedure described below.
1. Reformulate all elements of the problem tree (focal problem, causes
and effects) into positive, desirable conditions
e.g. Disease is
prevalent throughout
region

Disease
prevalence
is reduced

2. Reorganise the objectives putting the overall objective at the first level of
the tree. All other objectives will be positioned below it

Overall Objective

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3. Extend the tree down by asking what are the sub-objectives necessary to
accomplish each of your objectives. Repeat the process for all objectives.
4. Further extend the tree using the process described in (3) above.
When constructing the tree, remember that the significance of an interaction
between objectives will not become apparent until an initial framework or tree has
been constructed. Once the initial tree is complete, review the end product. It may
be found that:
some objectives are missing
an intermediate level of objectives is required
it is possible to extend the tree upwards
an objective at a higher level can be achieved before an objective below it.
You should be able to cost the objective at the lowest level of the tree. If not extend
the tree down one more level. See figure 1 : health care project overleaf.

3. Strategy Analysis Once the tree is complete, it is examined to identify likely

points of intervention based on skills and resources available. In some cases the
entire objective tree may represent a single project sized solution. In other cases the
tree might be made up of two or more projects some of which may be the
responsibility of another organisation or department. The selection of a project from
the tree is sometimes called strategy analysis. Each project would be subject to a
separate feasibility study in such a case.
The Shallow Well project (figure 2) is a good example of how alternative projects
might be identified. The diagram identifies only drilling of wells as part of the project
design. However, experience might later show that other alternatives should have
been explored further. The organisation or department defining the well construction
project might assume that others would be responsible for objectives that were
positioned at the same level as that of 400 shallow wells dug and operational.
Digging wells might be the departments team or one organisations expertise - but it
may still only be feasible as a means of improving water quality and the health of the
population if other groups are assuming responsibility for the other objectives.
Two major benefits of objective tree analysis are the building of the team working
on the diagram and the identification of the layering or hierarchy of
objectives associated with the project. The hierarchy of objectives is the starting
point for another planning tool in widespread use: The Project Logical Framework.

102

Figure 2 : Health Problem Analysis

Inadequate health
care in community

Parents ignorant
of basic
healthcare issues

Parents trained in
system
basic health care

No
training
given

Training
designed
and
delivered

Trainers
not
available

Trained
trainers
available

Lack of infrastructure

Infrastructure

Inadequate
water and
sanitation

No registration
system

Adequate water and

sanitation facilities

No access
to basic
first aid

Basic
packs
distributed

No
maintenance

Maintenance

Improved
health care

No local
clinic

Clinic

Registration

Leaders in
community
ignorant

No system
designed

Trained
leaders

PHC card
Registration
system
developed

Lack of
awareness of
issues
Awareness raising

103

Figure 3 : Shallow Well Construction Project

Health of population
improved
Level of water born
disease reduced

Other vector
control related
projects
implemented

Quality of drinking
water improved

Other forms of
providing potable
water implemented

Health Education
programmes
introduced

Potable water
shallow well
system
implemented

Shallow well
maintenance
programme
established

Shallow well
unit
maintenance
capacity
upgraded

Community
shallow well
maintenance
participation
established

Community
health services
expanded

400 shallow
wells dug and
operational
Community
participation in
shallow well
programme
developed

Community
shallow well
orientation
programme
organised

Shallow well
construction unit
management and
technical capacity
upgraded

Formal
management and
technical training
d t d

On the job
training
conducted

Shallow well
construction
project

104

OA Technique 4 : Questionnaires
A questionnaire:
is a paper document that presents a set of questions to which a person responds,
can be anonymous or the person responding can identify him or herself in some way,
can be mailed to the respondent directly or indirectly (some questionnaires are sent
to specific people by name; others are sent to types of people - such as everyone at a
particular level within an organisation or everyone doing a particular type of job e.g.
field staff - without identifying specific individuals),
can have several different types of questions, e.g., multiple choice or open-ended,
can vary in length, but should rarely take more than fifteen to thirty minutes of a
person's time.
A questionnaire is one of the three primary techniques for collecting needs assessment
information. The other two ways are interview and focus group.
Some of the advantages of questionnaires are:
Questionnaires are especially useful when the respondents must remain anonymous.
They can be distributed and returned in ways that make respondents feel confident
that their identities will remain secure.
Questionnaires can be an efficient means of collecting information from the point of
view of the respondents. Questionnaires should be as brief as possible, ideally so
that respondents spend no more than fifteen to thirty minutes completing them.
Different forms of questionnaires can be distributed to different audiences. This
strategy is particularly useful when you have a large pool of potential respondents
and a lot of questions to ask about the audience. Through a process called "matrix
sampling" you can ask some of the respondents to respond to one part of the
questionnaire and other respondents to respond to another part of the questionnaire.
There are many different types of questions that can be included in a questionnaire,
including:

a. open-ended, e.g.,

What are the main difficulties you face in working with older children in this Centre?

b. multiple-choice, e.g.,
Which
-

is your preferred method for improving your own skills?

formal training
facilitated discussion
one to one mentoring
accompanying more experienced staff
trial and error

c. ratings or rankings, e.g.,

Rank order the following sources from 1 (most effective) to 5 (least effective).
- formal training
- facilitated discussion
- one to one mentoring
- accompanying more experienced staff
- trial and error

d. Likert-scale, e.g.,

My preferred way of improving skills is through formal training.

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- Strongly Agree

- Agree

- No Opinion

- Disagree

- Strongly Disagree

Some of the disadvantages of questionnaires are:

Questionnaires are relatively easy to design, but good questionnaires represent a
significant investment in time and expertise to prepare.
Questionnaires can take considerable time to distribute, process, analyse, and report.
Questionnaires are not as flexible as interviews or focus groups. The latter permit
the exploration of unanticipated issues whereas questionnaires usually only provide
information directly related to the specific questions included in them.
Many people are reluctant to respond to questionnaires and response rates of forty
percent or lower are not unusual.
Procedures
The following procedures are recommended for a questionnaire survey:
Determine the major questions
Draft questionnaire items
Design the questionnaire
Pilot test the questionnaire
Develop a data-collection strategy
Monitor the response
Analyse the survey data
Types of questions
You must draft actual questionnaire items within each of the sections of your
questionnaire. It is difficult to vary the types of questions too often, so economise within
each section by asking similar types of questions.
You will need to master six types of questionnaire item before you invent your own.
Unproved alternatives are often confusing to the reader. So use unproved alternatives
only after you are fully familiar with the types of items described below.
1. Multiple-choice
This type of question is useful for the introduction or background information section.
How long have you been a PhD student at McGill? (Please check one.)
Less than 6 months

1- 2 years

More than 2 years

2. Fill-in-the-blank

Use this form when the possibilities are too numerous to list using a multiple-choice
item. They work well in a mix with multiple-choice. So, they are also good in the
introduction.
In which department do you work? _____________________________________

106

3. Rating-scale

This type of question enables you to collect a lot of information efficiently. Ratingscale questions are good for rating your goods and services, other considerations etc.
How important is it for you to learn about:
Not at all
a) Environmental responsibility

Very
2

4. List

This type of question provides a stronger form of feedback than a rating scale. It
forces the client to identify what he or she considers important and helps the
researcher to avoid the problem of people just agreeing because it is easy to check a
box without feeling that it is important to them.
What aspects of your training course did you like most? Please list three of them.

5. Comment-on

This type of question is another way to gain an understanding of what your client
considers important. It is particularly useful for mopping up in the concluding
section.
Please write any other comments about the work of school principal and suggestions
for training that you consider important:

107

6. Likert-scale

The Likert scale allows the respondent to agree or disagree with a series of
statements. (Note, these are statements, not questions.) The Likert scale is easy to
use, if you know how, and like other rating scales it is an efficient way to collect lots
of information.
Strongly
disagree

Disagree

Neither
disagree
nor
agree

Agree

Strongly
agree

I am satisfied with my
professional development (that is,
I am acquiring new skills and
knowledge)
There are possibilities for career
advancement (that is, for
increased responsibilities)

Now, you try a few. Write your own statements for dimensions of your work units
outputs. Include items that are worded both positively and negatively.

1.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
2.

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
3.

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Design the questionnaire
As you write the items, you should begin considering an overall design for your
questionnaire. Follow these rules:
Lay out items to avoid confusion;
Use the formats shown in the examples;
Dont allow a question to cross over two pages;
Instruct the respondent in what you want him or her to do for each type of question;
and
Number the questions consecutively.

Use a booklet

to make it professional and facilitate completion

Have a title and introductory explanation

108

to let your clients know what you are doing; and

to help them fill out the questionnaire properly

Arrange the questionnaire in sections, each with a title

to help structure the respondents thinking; and

to facilitate analysis

Group similar types of items together

do this especially with rating-scale items; but

fill-in-the-blank and multiple-choice items can be mixed together

Use all available space

try to limit the length of the questionnaire to four pages; and

use space for comments to fill in pages

Pilot test the questionnaire

Even the best questionnaire needs testing. You might understand everything in the
questionnaire, but your client may not. Here are some tips to help you test your
questionnaire.

Show the questionnaire to critical colleagues

ask them to read it and to comment in the margins; and

revise the questionnaire

Test the questionnaire with a few clients

assemble 5-6 clients;

ask them to complete the questionnaire in writing; and
discuss each question with the group

In completing this step, ask such questions as

was the item clear, and could it be answered?

did the question hit the important aspect of the issue?
what has been left out?
does the whole questionnaire enable your client to really express what he or she
thinks of your organisations work?

Revise again

It sounds like a lot of work. It is! Creating a good questionnaire may take a week of fulltime work, even for a professional.

109

Six steps for constructing effective questionnaires:

Summary

1. Determine your question

What do you intend to find out?

How will the information be helpful?
Which issues will relate to the questionnaire?

2. Specify your sub-questions

List all the things you want to find out

Indicate those sub-questions to be included in the questionnaire, and
Refine your list

3. Draft the items

Translate questions into items; and

Formulate multiple-choice, fill-in-the-blank, rating-scale, list, comment-on and Likertscale questions

4. Sequence the items

Group the items into topic sections;

Group the items by question type; and
Rewrite the items as necessary

5. Design the questionnaire

Order and number questions

Layout a booklet format; and
Arrange the questions on pages

6. Pilot test the questionnaire

Clarify the wording of the questionnaire with respondents;

Group test the draft questionnaire;
Discuss the questionnaire with the group; and
Revise the questionnaire and retest it if necessary.

110

SAMPLE QUESTIONNAIRE: ORGANISATIONAL DEVELOPMENT

Confidential

Ref

STAFF QUESTIONNAIRE

As you probably know, we are developing a new partnership programme based upon
your views about what <organisation> really needs in order to perform more effectively.
We request your completion of this questionnaire to help us learn more. The information
you and others provide will assist us in our continuing effort to provide appropriate and
meaningful support.
Your answers will be handled in the strictest confidence. Your answers will be tabulated
with those of others to determine needs and priorities. Thank you for your time and
assistance.

I. BACKGROUND
1. What age group do you fall within?

16-19

20-24

25-29

30-34

35-39

40-45

45-49

50-54

55-59

60+

2. How long have you been working with <organisation>?

0-1yrs

1-2yrs

2-3yrs

3+ yrs

II. VALUES BEHIND WORK

3. What are your reasons for doing this work? (Please rank in order of importance

1 high 5 low)

Child rights activism and engagement

Development / help others
Own experiences of issues
By chance
Other please explain

4. What are the different values/principles on which <organisation>s work is

based?

111

5. Do you think it is important to have a childs rights approach/understanding

of the work and addressing young peoples needs?
Yes
No
Don't know

III. WORKING CONDITIONS

6. Please rank your experiences of your work environment.

Workspace / office
Furniture / equipment / tools
Work load stress
Working environment in
relation to other employees

0
1
2
3
4
5
6
7

Rankings
Dont know
Very bad
Poor
Not very good
OK / acceptable
Good
Very good
Excellent

Support in your work from

other employees
Support in work from leadership
Training
Supervision (individual and group)

7. In your opinion, what is the most important training area for the staff at
<organisation>?

112

IV: WORK CARRIED OUT

8. In your opinion, what are the most effective forms of direct support
provided by your organisation?

9. In your opinion, what are the most effective forms of indirect support
provided by your organisation?

10. What are the difficulties (if any) you face in your work with the
clients/beneficiaries of <organisation>?

V. ORGANISATIONAL DEVELOPMENT
11. Please rank your opinion of organisational development

The administrative system

(e.g. paper work supporting charitable work)
The financial system
(e.g. budgeting & financial recording)
The learning and planning system
(e.g. monitoring learning and reporting capabilities)
Information sharing
(e.g. communication, internally)

0
1
2
3
4
5
6
7

Rankings
Dont know
Very bad at it
Poor
Not very good
OK / acceptable
Good
Very good
Excellent

Fundraising
(proposals to secure resources)
Decision-making system
(including management and leadership)

113

The Personnel system

(e.g. recruitment and appraisal etc)
Networking
(e.g. staying in touch with other organisations)
Accountability system
(e.g. staff held accountable for use of resources)

VI. THE FUTURE DEVELOPMENT OF <organisation>

12. In your opinion, what are the most important areas of work for
<organisation> today?

13. In your opinion, what are the areas/ types of work that should be
discontinued?

14. In your opinion, are there any other areas/types of work that should be
undertaken? Please specify.

114

VII. PERCEPTION BY OTHERS

15. How do you think <organisation> is perceived by provincial/national
government? Give evidence or examples if possible.

16. How do you think <organisation> is perceived by other NGOs and CBOs
working in the area and/or on similar issues? Give evidence or examples if
possible

17. Please share with us any other comments you have about your work with
this organisation or about this questionnaire.

THANK YOU

This questionnaire is part of the baseline assessment of each of ChildHope

Partners. Staffs opinions about their work and their overview of their
organisations will be recorded and compared in the first, the third and the fifth
year of the programme. The purpose is to monitor changes over the period. In
addition the comments will be incorporated in ongoing annual discussions around
programme development and capacity building at the NGO, country and regional
levels.

115

SAMPLE QUESTIONNAIRE: TRAINING

As you probably know, we are developing a new training program based upon your views
about how you can best improve the skills you need at work. We request your
completion of this questionnaire to help us learn more about your training and
information needs and preferences. The information you and others provide will assist us
in our continuing effort to provide better training.
Your answers will be handled in the strictest confidence. Your answers will be tabulated
with those of others to determine information needs, usage patterns, content
requirements, format preferences, and overall quality. Thank you for your time and
assistance.
1.To help us evaluate your answers, please indicate by checking.....
a) your work experience.
__ 1 year or less
__ 5 to 9 years
__ 2 years
__ 10 years or more
__ 3 to 4 years
b) time employed by this organisation.
__ 1 year or less
__ 5 to 9 years
__ 2 years
__ 10 years or more
__ 3 to 4 years
c) your primary activity.
__ Manager
__ Supervisor
__ Administrative Officer
__ Child-care worker
__ Field Worker
__ Service staff (maintenance, kitchen etc)
__ Other (please specify) ________________________________________
2.When you need to develop a new skill, what are your preferences?
Rate the following from 1 = "most preferred" to 8 = "least preferred. Leave blank any
information sources that you do not use at all.
__ Formal training
__ Self-study
__ Group discussion
__ Trial and error
__ One-to-one mentoring
__ Conferences and seminars
__ Working alongside more skilled staff
__ Other (please specify)
________________________________________________________________________
________________________________________________________________________

________________________________________________________________________
________________________________________________________________________

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3.Using the following scale, evaluate the usefulness of the following learning processes:
Very Useful.............Not Useful
5
4
3
2
1
__ Formal training
__ Self-study
__ Group discussion
__ Trial and error
__ One-to-one mentoring
__ Conferences and seminars
__ Working alongside more skilled staff
__ Other (please specify)
___________________________________________________________
___________________________________________________________
4.Consider the training programmes that you prefer. What makes them appealing to
you?

5.Consider the training programmes that you do not prefer.

valuable for you?

What makes them not

6.Using the following scale, evaluate the training programmes that you have had here.
Excellent........................Poor
5
4
3
2
1
Accuracy_______________
Clarity_________________
Completeness____________
Organisation____________
Ease of Use_____________
___________________________________________________________
___________________________________________________________
___________________________________________________________
___________________________________________________________
7.What are the best aspects of the training offered here?

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8.What are the worst aspects of the training offered here?

9.How would you improve the training offered here?

10.What other feedback would you like to provide to training developers?

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OA Technique 5 : Interview Techniques

Interview:

is a set of questions (usually called a protocol) that is asked by one person to

another,
can be conducted face-to-face in person, over a telephone, or via e-mail,
can be anonymous or the person being interviewed can identify him or herself in
some way,
can have several types of questions, although generally open-ended questions are
preferred,
can vary in length, but should rarely take more than an hour of a person's time.

Whether interviews are conducted face to face or over the telephone, following certain
procedures can help make them work:
1. Determine the approach (semi-structured or structured)
2. Determine general and specific questions
3. Draft the interview questions
4. Pilot test the protocol
5. Arrange a schedule of interviews
6. Prepare to record the responses
7. Conduct the interviews
8. Analyse interview data

Example:

The following protocol is designed to help you interview employees, supervisors,

managers etc. about their needs related to their job or task. Ofen, this type of interview
is conducted after general data about needs have been collected with a questionnaire.
Interviews allow you to explore needs and preferences in more detail than can be
obtained with a questionnaire. Alternatively, interviews are sometimes used in lieu of
questionnaires when time does not permit you to distribute questionnaires to a large
sample of people.
Interview protocols consist of a set a primary questions and a set of probing or
secondary questions that are associated with each primary question. You should ask the
primary question first and give the interviewee sufficient time to respond before asking a
probing question. You should continue to ask probing questions until you are satisfied
that the interviewee has given you as much information as you are likely to get related to
the specific topic. Then, you move on to the next primary question and repeat the
process. (There may also be a set of brief questions about the background of the
interviewee.)
One of the most challenging aspects of interviewing is capturing what an interviewee tells
you. Of course, you may wish to have interviews recorded and have the interview
transcribed later. However, many people are intimidated by recorded interviews and the
logistics of recording can be difficult and awkward, especially for telephone interviews.
An alternative approach is to take notes during the interview and then to write out longer
interpretations of the responses very soon after the interview is over. On the other hand,
taking notes during an interview is a skill that must be developed and practised over
time.

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SAMPLE INTERVIEW PROTOCOL

Finding out about Computer Skills

1. Background Information:
Interviewee's computer experience.
__ 1 year or less
__ 5 to 9 years
__ 2 years
__ 10 years or more
__ 3 to 4 years
Interviewee's job experience.
__ 1 year or less
__ 5 to 9 years
__ 2 years
__ 10 years or more
__ 3 to 4 years
Interviewee's position.
__ Manager
__ Supervisor
__ Carer
__ Field Worker

__ Service Support Staff

__ Administrative Officer
__ Other (please specify)
_____________________

2. Within your current job, what types of computer programmes do you use
and what kind of training is most useful to you?
Are books and manuals very useful? Why or why not?
Are videos very useful? Why or why not?
Is printed documentation very useful? Why or why not?
Is on-line documentation very useful? Why or why not?
Are on-line tutorials very useful? Why or why not?
Are training seminars very useful? Why or why not?
3. What are the most useful types of information in a training programme?
Is set-up and installation information useful? Why or why not?
Is operational information useful? Why or why not?
Are tutorials useful? Why or why not?
Are practical exercises useful? Why or why not?
Is a glossary useful? Why or why not?
Are references useful? Why or why not?
Is an index useful? Why or why not?
4. How do you really learn about tasks such as using a new computer
program?
What kind of formal ways do you learn about new programs?
What kind of informal ways do you learn about new programs?
How long does it take you to feel comfortable with a new program?
What resources do you prefer to keep for a long time?
What types of resources do you refer to when you have a problem?
5. How would you improve the training offered here?
Would you prefer more training?
Would you prefer less training?
What other features should be included in training here?
What features should be eliminated from training here?

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OA Technique 6 : Focus Group Discussions

A Focus Group Discussion
is based on a set of questions that is asked by one person to a small group of people,
is usually conducted in person,
can be conducted with a group of varied size although four to eight people are
considered optimal,
can be anonymous, but often the people in the focus group are identified either
formally (first and last names) or informally (first names only),
can vary in length, but should rarely take more than two hours
Facilitating a focus group discussion is a type of survey activity. Conducting a survey
should be done systematically. The overall steps in the survey process are:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.

Determine the purpose what do you want to find out about?

Select a representative sample.
Develop the questions these will vary according to the survey purpose.
Construct the instrument (focus group protocol).
Test the instrument if possible and make sure that all those who will use it
understand how.
Set up the groups.
Conduct the sessions.
Record the data.
Analyse the data.
Share and use the results.

The following protocol is designed to help you conduct a "focus group" interview. Focus
groups may be conducted at anytime during the Needs Assessment. For example, one or
more focus group interviews may be conducted after you have collected some general
data about needs with a questionnaire. Focus groups allow you to explore information
needs and preferences in more detail than can be obtained with a questionnaire, plus
they have some advantages over one-on-one interviews. Focus groups are sometimes
used in lieu of one-on-one interviews because you can get more information from a
group in a shorter period of time and check the reliability of the information at the same
time.
Focus group protocols consist of a set a primary questions and a set of secondary
questions designed to get others in the focus group to either confirm or disagree with the
first respondent's answers. It is recommended that two people conduct a focus group
interview with groups of six to eight people. One of the interviewers will serve as the
moderator, asking the questions and encouraging others to speak. It is crucial that the
moderator build an atmosphere of sharing among the group members so that one or two
people don't dominate the discussion.
The other interviewer is primarily charged with taking notes. A challenging aspect of any
type of interviewing is capturing what is said. One option is to have the interviews
recorded and then have the interview transcribed later, although most people find
recording off-putting. Focus groups generally last from 30 minutes to two hours.

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Guide for conducting a focus group

1. Think about the purpose of the focus group and the information you need very
carefully. Do you really need the information? How will the information be used? How
much is worth knowing?
2. Develop a basic set of open-ended questions. They should be sequenced so that
more mundane and general questions are at the front-end. There should be a logical
flow to the questions that is clear to the respondents.
Pilot test the questions to make sure they are clear. Memorise the questioning route
so that you dont have to refer to it during your interview. This will keep the
discussion flowing more smoothly.
3. Invite participants to your session well in advance and get firm commitments to
attend. Contact people to remind them the day of the event.
4. Set up your working area and organise either a table or circle of chairs so that people
can sit comfortably facing each other. Arrange for coffee, tea or lunch at the
beginning of the session.
5. When people begin to arrive for the event welcome them and make them feel
comfortable. When everyone has arrived, sit down and get started.
6. Open the session with thanks, a description of the purpose of the interview, any
assurances about confidentiality, and an overview of the discussion topics.
7. The facilitator should work through his/her questions, seeking a balanced input from
all participants. Watching the time and knowing your bottom line questions, will mean
that when the time runs out, you have your most important information. You may
need to probe for more details on important points. Could you tell me more about
that?
A co-facilitator should take notes, highlighting key points, important themes and
patterns to the discussion. Dont try to take detailed notes; this will distract you.
When youre through, thank people for their time and contributions.
8. Analyse your findings. This is the key step and it should take place right after the
interview while things are still fresh. Plan to spend at least an hour with the cofacilitator to discuss and analyse your findings. Now is the time to make detailed
notes. Use this time as an opportunity to review and critique your questions and
facilitator skills.
9. Decide if you need to run additional focus groups to round out or deepen your
analysis.

Tips for Focus Group Discussions

1. Always ask open-ended questions (not yes-or-no-questions)
2. Avoid asking why directly
3. Dont give breaks during the session
4. Dont fill time when you have the data you need, the session ends.
5. Arrange seating in a circle for good eye contact
6. Clarify guidelines and duration of session
7. Try to bring out real feelings
8. Summarise the main points that emerged
9. Thank the group for their participation
10. Let people in the group know what the next steps in the process will be
11. Be innocent and empathetic
12. Engage in active listening
13. Control without leading
14. Balance dominant and silent participation

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SAMPLE FOCUS GROUP PROTOCOL

Talking about Training

(The questions below relate to a discussion on training experiences.

assessments would focus on training.)

Not all needs

1.When you joined this organisation, what types of training programmes

would have been most useful to you?
Do you agree with that?
What do you do that is different from that person?
Do you feel that way too?
You look like you disagree with what was just said. Do you?
Is that really the way it is?
2.What have been the most useful training courses or types of information in a
training programme that you received/experienced here or before you came
here?
Do you agree with that?
What do you do that is different from that person?
Do you feel that way too?
You look like you disagree with what was just said. Do you?
Is that really the way it is?
3.How do you really learn a new job or task?
Do you agree with that?
What do you do that is different from that person?
Do you feel that way too?
You look like you disagree with what was just said. Do you?
Is that really the way it is?
4.How would you improve training as usually provided here?
Do you agree with that?
What do you do that is different from that person?
Do you feel that way too?
You look like you disagree with what was just said. Do you?
Is that really the way it is?
5.What other information would you like to provide to the developers of
training here?
i Do you agree with that?
What do you do that is different from that person?
Do you feel that way too?
You look like you disagree with what was just said. Do you?
Is that really the way it is?

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